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16 Mar 2017, 6:08 pm
Scott Applewhite/AP) Reason’s Hit & Run blog interviewed me about my article recently published in the Yale Law Journal Forum, The Due Process Right to Earn a Living: A Brighter Future Ahead? [read post]
Investors Left Out of the Auction Rate Securities Regulatory Settlements Are Suing to Recover Losses
22 Jun 2009, 9:46 am
The Financial Industry Regulatory Authority (FINRA) has negotiated reimbursement schedules and fines with nine of its members, according to the article, including Janney-Montgomery Scott LLC, M&I Financial Advisors, Inc., M&T Securities Inc., and NatCity Investments Inc. [read post]
20 Aug 2012, 9:44 am
Additional Resources: Suit challenging bail bond fees still alive, By Scott Johnson, The Montgomery Advertiser Court, bail bond fees increase, By Melanie Patterson, North Jefferson News More Blog Entries: Alabama Gym Theft Case: Property Crime Charges Depend Upon Value [read post]
25 Aug 2010, 9:10 am
A former medical malpractice lawyer in Maryland (Montgomery County) is sentenced to 5 years in jail for stealing $1 million from his clients. [read post]
10 Jan 2020, 12:13 pm
The letter, acknowledged by FINRA on January 2nd was signed by Carver on December 10th, while Cahill signed on Dec 11th.Cahill’s CareerAccording to FINRA’s BrokerCheck, in a March 13, 2012 settlement with a customer who accused Cahill of making unsuitable investments from October 2008 to March 2010, there was a $42,100 settlement payout, and was made to resign from the firm in August, 2013 due to “allegations relating to employee’s compliance” with the firm’s… [read post]
27 Aug 2013, 10:04 am
(Toronto: Emond Montgomery Publications, 2013). [read post]
28 Jul 2014, 1:31 am
Montgomery v Lanarkshire Health Board, heard 22 and 23 July 2014. [read post]
4 Jun 2018, 6:30 am
Bancorp Investments, Inc Michael Jay Novick Morgan Stanley Beverly Hills Wealth Management, LLC David Warren Olson Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Jason Charles Parker LPL Financial LLC Edward Jones James Albert Pettit Ameriprise Financial Services, Inc Janney Montgomery Scott LLC Jose Aloisio Teles Nomura Securities International, Inc Standard… [read post]
26 Jul 2019, 1:24 pm
Five of the firms that self-reported collectively paid over $30M in restitution: Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to charitable and retirement accounts, also for mutual fund fee… [read post]
27 Jan 2011, 12:00 pm
(See yesterday's News Scan.)A Day on the Other Side of the Bench: Montgomery County Circuit Judge Joseph M. [read post]
24 Oct 2017, 7:56 am
Scott, what do you think was going on? [read post]
15 Aug 2013, 1:05 pm
Scott, $505.00 an hour for Jeffrey D. [read post]
6 Mar 2021, 5:47 am
And Howell shared an episode of the Lawfare Podcast with a no-bull version of the second Senate joint hearing: Scott R. [read post]
2 Feb 2016, 8:26 am
”) Scott v. [read post]
10 May 2010, 1:41 pm
Scott (pdf), No. 08-0958 (Tex. [read post]
12 Jul 2009, 1:17 pm
We enjoyed meeting with marketers Scott Snyder, Diana Lepper, and Dawn Edwards! [read post]
16 Dec 2011, 7:51 pm
They were Montgomery County’s own version of Law & Order’s Special Victims Unit. [read post]
17 Aug 2020, 10:00 am
In Dred Scott v. [read post]
6 Nov 2009, 5:40 pm
Stevenson of the Equal Justice Institute in Montgomery, Ala. [read post]
25 Feb 2021, 11:22 am
John Costello and Mark Montgomery answered frequently asked questions about the new national cyber director position. [read post]
